| 20-02942 | 07/01/2021 | Claimant(s): Carol King
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): 1st Global Capital Corp.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
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| 20-03989 | 06/10/2021 | Claimant(s): Todd Calamita
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 20-01411 | 05/26/2021 | Claimant(s): Edward Tyree, Tammy Hillman
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): RBC Capital Markets LLC, Richard Ruckart
Respondent Lawyers(s): Amanda E. Colvin
Arbitrator(s): Chase Boone Saunders, Richard E. Miley, Kathleen Dooley
Hearing Site: Charlotte, NC
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| 20-02709 | 04/02/2021 | Claimant(s): Stephen Bush
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 19-03049 | 01/19/2021 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
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| 20-01316 | 01/19/2021 | Claimant(s): Shannon Cotter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 20-01182 | 12/10/2020 | Claimant(s): David Pottenger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Jason Alexander Diamond
Hearing Site: Charlotte, NC
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| 17-02244 | 11/17/2020 | Claimant(s): Kyle Busch, Samantha Busch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Parks, C.F. Parks & Co.., Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Patricia Ann Tracey, Richard E. Miley, James Howell Garrison
Hearing Site: Charlotte, NC
|  | $135,000 |
| 20-00057 | 11/11/2020 | Claimant(s): Michael Wiercinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James C. Hoover
Hearing Site: Charlotte, NC
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| 19-03523 | 11/02/2020 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC
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